Crystal Structure and Dislocations

K. Narayan Prabhu
Department of Metallurgical & Materials Engineering
National Institute of Technology, Karnataka, Surathkal
 Bonds in Materials
The number of electrons in the outermost orbit of an
element decides the tendency of an element to go into a
bond with other elements. The most inert elements are
helium and inert gases like Ne, Ar, Kr, Xe, which have
the most stable structure.
Helium has 2 electrons in its first orbit, i.e.,K shell. The
maximum number of electrons in an orbit is given by 2n 2
where n is the orbit number. If 2 electrons are present in
the first orbit, the element (He) is stable and does not
have any tendency to form bond with any other element.
Likewise, in the second orbit, element having 8 electrons
(2.22 = 8) has stable structure called as
electron octet. – Ne.
 Bonds in Materials
A. Primary bonds
• In elements containing more than 2 orbits of
electrons, (called as K & L shells, 2 in first and 8 in
second) also, 8 electrons in the outermost orbit
seems to be the most stable structure – i.e., the
electron octet.
• In all other elements, there is a tendency to attain
this stable structure of electron octet by forming
atomic bonds with other elements. This tendency
gives rise to atomic bonds.
• These atomic bonds have bond energies of the order
of 50 – 1000 kJ/mol.
 A. Primary bonds
1.Metallic Bond
Atomic community bond
Positive ions surrounded by electron cloud so that at any given
moment every atom would tend to have as many electrons
surrounding it as possible. Here all atoms together tend to
satisfy the electron octet structure for each of them.
Here, all electrons are free to move in the structure.
Free electron theory explains the good conductivity
( both thermal & electrical) of metals.
Another important property of plasticity is also connected with
metallic bond.
Plasticity is due mainly to slip phenomenon and slip process is
possible due to the identical surrounding of every atomic
site in the structure
 A. Primary bonds
1.Metallic Bond
The red spheres represent
metal cations (positively
charged ions), and the
black moving spheres
represent electrons. 
Metallic bonds are best
characterized by the
phrase “a sea or a cloud of
electrons surrounding
metal cations”
 A. Primary bonds

2. Covalent bond 3. Ionic bonds

• The covalent bond: Two chlorine atoms with 7 electrons in the outermost orbit
come together and form the bond. Two electrons are shared between each
chlorine to form octet structure around each. Similarly, carbon atoms form
diamond structure with carbon tetrahedra.
• The ionic bond: Here, sodium donates its one electron to chlorine which accepts
this to complete its octet structure. As a result of this, Na becomes a positive
ion while chlorine becomes a negative ion and the ionic attraction between the
two forms the bond.
 B. Secondary Bonds
• These are bonds between molecules and the bond energies
are of the order of 1- 50 kJ/mol.
• In many molecules, where hydrogen takes part in the
covalent bonding, the centres of the positive and negative
charges do not coincide as happens in the water molecule. A
net negative charge develops at the oxygen end and a net
positive charge at the two hydrogen ends. Due to this, a
‘permanent dipole moment’ exists in the water molecule.
The positive end of the molecule forms a bond with the
negative end of the neighboring molecule. – Hydrogen
bonding
• Inert gases form solid crystals at low temperatures due to
‘van der Waals’ bond. So also giant polymer molecules at
normal temperatures form solids whose melting points can
be quite high due to this bond.
Crystalline Structure of Metals

Crystalline
Structure
 Quartz
Crystal

A crystal consists of identical structural units,

consisting of one or more atoms, which are regularly
arranged with respect to each other in space. A crystal is
a solid in which the constituent atoms,molecules, or ions
are packed in a regularly ordered, repeating pattern
extending in all three spatial dimensions.
 Crystals form when they undergo a process of
solidification. Under ideal conditions, the result may
be a single crystal, where all of the atoms in the solid
fit into the same crystal structure. However, generally,
many crystals form simultaneously during
solidification, leading to a polycrystalline solid.
While the cooling process usually results in the generation
of a crystalline material, under certain conditions, the fluid
may be frozen in a noncrystalline state. In most cases, this
involves cooling the fluid so rapidly that atoms cannot
travel to their lattice sites before they lose mobility. A
noncrystalline material, which has no long range order, is
called an amorphous, vitreous, or glassy material.
Crystalline structures occur in all classes of materials,
with all types of chemical bonds. Almost all metal exists
in a polycrystalline state; amorphous or single-crystal
metals must be produced synthetically, often with great
difficulty. Ionically bonded crystals can form upon
solidification of salts, either from a molten fluid or when
it condenses from a solution. Covalently bonded crystals
are also very common, notable examples being diamond,
silica, and graphite.
 Polymer materials generally will form crystalline
regions, but the lengths of the molecules usually
prevents complete crystallization. Weak Van der Waals
Forces can also play a role in a crystal structure; for
example, this type of bonding loosely holds together
the hexagonal-patterned sheets in graphite.
The term "crystal" has a precise meaning within materials
science. Colloquially "crystal" refers to solid objects that
exhibit well-defined and often pleasing geometric shapes.
In this sense of the word, many types of crystals are found
in nature. The shape of these crystals is dependent on the
types of molecular bonds between the atoms to determine
the structure, as well as on the conditions under which they
formed.

Crystallography is the scientific study of crystals and

crystal formation.
 Short-Range Order versus
Long-Range Order

• Short-range order - The regular and predictable

arrangement of the atoms over a short distance -
usually one or two atom spacings.
• Long-range order (LRO) - A regular repetitive
arrangement of atoms in a solid which extends over
a very large distance.
 Levels of atomic
arrangements in
materials: (a) Inert
monoatomic gases
have no regular
ordering of atoms:
(b,c) Some
materials, including
water vapor,
nitrogen gas,
amorphous silicon
and silicate glass
have short-range
order. (d) Metals,
alloys, many
ceramics and some
polymers have
regular ordering of
(c) 2003 Brooks/Cole Publishing / Thomson Learning™
atoms/ions that
extends through
the material.
(a) Photograph of a silicon single
crystal. (b) Micrograph of a
polycrystalline stainless steel
showing grains and grain
boundaries
Liquid crystal display. These materials are amorphous
in one state and undergo localized crystallization in
response to an external electric field and are widely
used in liquid crystal displays.
 (c) 2003 Brooks/Cole Publishing / Thomson Learning™

Classification of materials based on the type of atomic order.

Lattice, Unit Cells, Basis, and Crystal
Structures
 Lattice - A collection of points that divide
space into smaller equally sized segments.
 Basis - A group of atoms associated with a
lattice point.
 Unit cell - A subdivision of the lattice that still
retains the overall characteristics of the
entire lattice.
 Atomic radius - The apparent radius of an
atom, typically calculated from the
dimensions of the unit cell, using close-
packed directions (depends upon
coordination number).
 Packing factor - The fraction of space in a unit
cell occupied by atoms.
 The fourteen
types of Bravais
lattices grouped in
seven crystal
systems.

(c) 2003 Brooks/Cole Publishing / Thomson Learning™

 Definition of the
lattice
parameters and
their use in
cubic,
orthorhombic,
and hexagonal
crystal systems.

(c) 2003 Brooks/Cole Publishing / Thomson Learning™

Lattice parameters describe the size and shape of the

unit cell
 (a) Illustration
showing sharing of
face and corner
atoms. (b) The
models for simple
cubic (SC), body
centered cubic
(BCC), and face-
centered cubic
(FCC) unit cells,
assuming only one
atom per lattice
point.

(c) 2003 Brooks/Cole Publishing / Thomson Learning™

 Determining the Number of Lattice Points
in Cubic Crystal Systems

Determine the number of lattice points per cell in the cubic crystal
systems. If there is only one atom located at each lattice point,
calculate the number of atoms per unit cell.
SOLUTION
In the SC unit cell: lattice point / unit cell = (8 corners)1/8
=1
In BCC unit cells: lattice point / unit cell
= (8 corners)1/8 + (1 center)(1) = 2
In FCC unit cells: lattice point / unit cell
= (8 corners)1/8 + (6 faces)(1/2) = 4
The number of atoms per unit cell would be 1, 2, and 4, for
the simple cubic, body-centered cubic, and face-centered
cubic, unit cells, respectively.
 Determining the Relationship between
Atomic Radius and Lattice Parameters

Determine the relationship between the atomic radius

and the lattice parameter in SC, BCC, and FCC
structures when one atom is located at each lattice
point.

(c) 2003 Brooks/Cole Publishing / Thomson

Learning™
The relationships between the atomic radius and the Lattice
parameter in cubic systems
We find that atoms touch along the edge of the cube in
SC structures.

a0  2r
In BCC structures, atoms touch along the body diagonal.
There are two atomic radii from the center atom and one
atomic radius from each of the corner atoms on the body
diagonal, so
4r
a0 
3
In FCC structures, atoms touch along the face
diagonal of the cube. There are four atomic radii along
this length—two radii from the face-centered atom and
one radius from each corner, so:
4r
a0 
2
 (c) 2003 Brooks/Cole Publishing / Thomson
Learning™

Illustration of coordinations in (a) SC and (b) BCC unit cells.

Six atoms touch each atom in SC, while the eight atoms
touch each atom in the BCC unit cell.
 Calculating the Packing Factor

Calculate the packing factor for the FCC cell.

Example 3.3 SOLUTION
In a FCC cell, there are four lattice points per cell; if there
is one atom per lattice point, there are also four atoms per
cell. The volume of one atom is 4πr3/3 and the volume of
the unit cell is .
3
a 0 4 3
(4 atoms/cell)( r )
Packing Factor  3
a03
Since, for FCC unit cells, a 0  4r/ 2
4 3
(4)( r )
3 
Packing Factor  3
  0.74
( 4r / 2 ) 18
 Determining the Density of BCC Iron

Determine the density of BCC iron, which has a lattice

parameter of 0.2866 nm.
Example 3.4 SOLUTION
Atoms/cell = 2, a0 = 0.2866 nm = 2.866  10-8 cm
Atomic mass = 55.847 g/mol
3
Volume of unit cell = a 0= (2.866  10-8 cm)3 = 23.54  10-24
cm3/cell
Avogadro’s number NA = 6.02  1023 atoms/mol
(number of atoms/cell)(atomic mass of iron)
Density  
(volume of unit cell)(Avogadro' s number)
(2)(55.847)
   7. 882 g / cm 3

(23.54  10  24 )(6.02  10 23 )
 (c) 2003 Brooks/Cole Publishing / Thomson
Learning™

Figure 3.16 The hexagonal close-packed (HCP) structure

(left) and its unit cell.
 Points, Directions, and Planes in the
Unit Cell
 Miller indices - A shorthand notation to describe
certain crystallographic directions and planes in a
material. Denoted by (),[ ] brackets. A negative
number is represented by a bar over the number.
 Directions of a form - Crystallographic directions that
all have the same characteristics, although their
‘‘sense’’ is different. Denoted by {},< > brackets.
 Repeat distance - The distance from one lattice point
to the adjacent lattice point along a direction.
 Linear density - The number of lattice points per unit
length along a direction.
 Packing fraction - The fraction of a direction (linear-
packing fraction) or a plane (planar-packing factor)
that is actually covered by atoms or ions.
Coordinates of selected points in the
unit cell. The number refers to the
distance from the origin in terms of
lattice parameters.
Determining Miller Indices of Directions

Determine the Miller indices of directions A, B,

and C in Figure.

Figure Crystallographic
directions and coordinates (for
Example 3.7).

(c) 2003 Brooks/Cole Publishing /

Thomson Learning™
SOLUTION
Direction A
1. Two points are 1, 0, 0, and 0, 0, 0
2. 1, 0, 0, -0, 0, 0 = 1, 0, 0
3. No fractions to clear or integers to reduce
4. [100]
Direction B
1. Two points are 1, 1, 1 and 0, 0, 0
2. 1, 1, 1, -0, 0, 0 = 1, 1, 1
3. No fractions to clear or integers to reduce
4. [111]
Direction C (c) 2003 Brooks/Cole
Publishing / Thomson

1. Two points are 0, 0, 1 and 1/2, 1, 0 Learning™

2. 0, 0, 1 -1/2, 1, 0 = -1/2, -1, 1

3. 2(-1/2, -1, 1) = -1, -2, 2
4. [ 1 2 2]
 (c) 2003 Brooks/Cole Publishing / Thomson Learning™

Figure 3.20 Equivalency of crystallographic directions of a

form in cubic systems.
 Another way for characterizing equivalent directions is
by the repeat distances

Figure 3.21
Determining the
repeat distance,
linear density,
and packing
fraction for
[110] direction
in FCC copper.

(c) 2003 Brooks/Cole Publishing / Thomson Learning™

Linear density =2Repeat Distances/0.51125nm

= 3.91 lattice points/nm
 Determining Miller Indices of Planes

Determine the Miller indices of planes A, B, and C in

Figure 3.22.

Figure 3.22
Crystallographic planes
and intercepts (for
Example 3.8)

(c) 2003 Brooks/Cole Publishing /

Thomson Learning™
SOLUTION
Plane A
1. x = 1, y = 1, z = 1
2.1/x = 1, 1/y = 1,1 /z = 1
3. No fractions to clear
(c) 2003
4. (111) Brooks/Cole
Publishing /

Plane B
Thomson
Learning™

1. The plane never intercepts the z axis, so x = 1, y = 2, and

z= 
2.1/x = 1, 1/y =1/2, 1/z = 0
3. Clear fractions:
1/x = 2, 1/y = 1, 1/z = 0
4. (210)
Plane C
1. We must move the origin, since the plane passes through
0, 0, 0. Let’s move the origin one lattice parameter in the
y-direction. Then, x = , y = -1, and z =
2.1/x = 0, 1/y = 1, 1/z = 0
3. No fractions to clear.
4. (0 1 0)
Calculating the Planar Density and Packing
Fraction

Calculate the planar density and planar packing

fraction for the (010) and (020) planes in simple cubic
polonium, which has a lattice parameter of 0.334 nm.

Figure 3.23 The

planer densities of
the (010) and
(020) planes in SC
unit cells are not
identical (for
Example 3.9).
(c) 2003 Brooks/Cole Publishing /
Thomson Learning™
SOLUTION

The total atoms on each face is one. The planar density

is:
atom per face 1 atom per face
Planar density (010)   2
area of face (0.334)
 8.96 atoms/nm2  8.96  1014 atoms/cm2
The planar packing fraction is given by:
(1 atom) (r )
2
area of atoms per face
Packing fraction (010)  
(a 0)
2
area of face
r 2
 2
 0.79
( 2r )
However, no atoms are centered on the (020) planes.
Therefore, the planar density and the planar packing
fraction are both zero. The (010) and (020) planes are
not equivalent!
 Drawing Direction and Plane

Draw (a) the [1 2 1] direction and (b) the [ 2 10] plane in a

cubic unit cell.

Figure 3.24
Construction
of a (a)
direction and
(b) plane
within a unit
cell (for
Example 3.10)

(c) 2003 Brooks/Cole Publishing / Thomson

Learning™
SOLUTION
a. Because we know that we will need to move in the
negative y-direction, let’s locate the origin at 0, +1, 0.
The ‘‘tail’’ of the direction will be located at this new
origin. A second point on the direction can be
determined by moving +1 in the x-direction, 2 in the y-
direction, and +1 in the z direction [Figure 3.24(a)].
b. To draw in the [ 2 10] plane, first take reciprocals of
the indices to obtain the intercepts, that is:
x = 1/-2 = -1/2 y = 1/1 = 1 z = 1/0 = 
Since the x-intercept is in a negative direction, and we
wish to draw the plane within the unit cell, let’s move
the origin +1 in the x-direction to 1, 0, 0. Then we can
locate the x-intercept at 1/2 and the y-intercept at +1.
The plane will be parallel to the z-axis [Figure 3.24(b)].
 Figure 3.25 Miller-Bravais
indices are obtained for
crystallographic planes in
HCP unit cells by using a
four-axis coordinate system.
The planes labeled A and B
and the direction labeled C
and D are those discussed in
Example 3.11.

(c) 2003 Brooks/Cole Publishing / Thomson

Learning™
 Determining the Miller-Bravais Indices for
Planes and Directions

Determine the Miller-Bravais indices for planes A and B

and directions C and D in Figure 3.25.

Figure 3.25 Miller-Bravais

indices are obtained for
crystallographic planes in
HCP unit cells by using a
four-axis coordinate
system. The planes labeled
A and B and the direction
labeled C and D are those
discussed in Example 3.11.

(c) 2003 Brooks/Cole Publishing /

Thomson Learning™
SOLUTION

Plane A
1. a1 = a2 = a3 =  , c = 1
2. 1/a1 = 1/a2 = 1/a3 = 0, 1/c = 1
3. No fractions to clear
4. (0001)
(c) 2003 Brooks/Cole
Publishing / Thomson

Plane B
Learning™

1. a1 = 1, a2 = 1, a3 = -1/2, c = 1
2. 1/a1 = 1, 1/a2 = 1, 1/a3 = -2, 1/c = 1
3. No fractions to clear
(11 21)
4.

Direction C
1. Two points are 0, 0, 1 and 1, 0, 0.
2. 0, 0, 1, -1, 0, 0 = 1, 0, 1
3. No fractions to clear or integers to reduce.
[ 1 01] or [2113]
4.
Example 3.11 SOLUTION (Continued)

Direction D
1. Two points are 0, 1, 0 and 1, 0, 0.
2. 0, 1, 0, -1, 0, 0 = -1, 1, 0
3. No fractions to clear or integers to reduce.
4. [ 1 10] or [ 1 100]

h = (2h’-k’)/3
k= (2k’+h’)/3
i= -(h’+k’)/3
l= l’
(c) 2003 Brooks/Cole Publishing
/ Thomson Learning™
 Defects in Crystals

• Point defect, such as vacancy, interstitial

atom, impurity
• Line defect, called dislocation
• Planar imperfection, such as grain
boundaries
• Volume or bulk imperfections, such as
voids/inclusions
 Point Defects

• Point defects - Imperfections, such as vacancies, that are located

typically at one (in some cases a few) sites in the crystal.
• Extended defects - Defects that involve several atoms/ions and
thus occur over a finite volume of the crystalline material (e.g.,
dislocations, stacking faults, etc.).
• Vacancy - An atom or an ion missing from its regular
crystallographic site.
• Interstitial defect - A point defect produced when an atom is
placed into the crystal at a site that is normally not a lattice point.
• Substitutional defect - A point defect produced when an atom is
removed from a regular lattice point and replaced with a different
atom, usually of a different size.
 (c) 2003 Brooks/Cole Publishing / Thomson Learning
Figure 4.1 Point defects: (a) vacancy, (b) interstitial atom, (c) small
substitutional atom, (d) large substitutional atom, (e) Frenkel defect,
(f) Schottky defect. All of these defects disrupt the perfect
arrangement of the surrounding atoms.
 Point Defects in a Single Crystal Lattice

Extra atom Missing atom

Foreign
atom Extra atom

Schematic illustration of types of defects in a single-

crystal lattice: self-interstitial, vacancy, interstitial,
and substitutional.
 The Effect of Temperature on
Vacancy Concentrations

Calculate the concentration of vacancies in copper at room

temperature (25oC). What temperature will be needed to heat
treat copper such that the concentration of vacancies produced
will be 1000 times more than the equilibrium concentration of
vacancies at room temperature? Assume that 20,000 cal are
required to produce a mole of vacancies in copper.
Example 4.1 SOLUTION
The lattice parameter of FCC copper is 0.36151 nm. The basis
is 1, therefore, the number of copper atoms, or lattice points,
per cm3 is:
4 atoms/cell 22 3
n  8 3
 8. 47  10 copper atoms/cm
(3.6151  10 cm)
Example 4.1 SOLUTION (Continued)

At room temperature, T = 25 + 273 = 298 K:

 Q 
n  n exp 
 RT 
 cal 
  20,000 
 atoms  mol
. exp 
22
  8.47  10 3 
 1.987 cal
 cm 
  298K 
 mol  K 
8 3
 1.815  10 vacancies/cm
We could do this by heating the copper to a temperature at
which this number of vacancies forms:
11  Q 
n  1.815  10  n exp 
 RT 
 (8.47  10 22 ) exp(20,000 /(1.987  T )), T  102 o C
 Vacancy Concentrations in Iron

Determine the number of vacancies needed for a BCC iron

crystal to have a density of 7.87 g/cm3. The lattice parameter
of the iron is 2.866  10-8 cm.
Example 4.2 SOLUTION
The expected theoretical density of iron can be calculated from
the lattice parameter and the atomic mass.
SOLUTION (Continued)

Let’s calculate the number of iron atoms and vacancies

that would be present in each unit cell for the required
density of 7.87 g/cm3:

Or, there should be 2.00 – 1.9971 = 0.0029 vacancies

per unit cell. The number of vacancies per cm3 is:
 Sites for Carbon in Iron

In FCC iron, carbon atoms are located at octahedral sites at

the center of each edge of the unit cell (1/2, 0, 0) and at
the center of the unit cell (1/2, 1/2, 1/2). In BCC iron,
carbon atoms enter tetrahedral sites, such as 1/4, 1/2, 0.
The lattice parameter is 0.3571 nm for FCC iron and 0.2866
nm for BCC iron. Assume that carbon atoms have a radius
of 0.071 nm. (1) Would we expect a greater distortion of
the crystal by an interstitial carbon atom in FCC or BCC
iron? (2) What would be the atomic percentage of carbon in
each type of iron if all the interstitial sites were filled?
 Learning
(c) 2003 Brooks/Cole Publishing / Thomson

Figure (a) The location of the ¼, ½, 0 interstitial site in BCC

metals, showing the arrangement of the normal atoms and
the interstitial atom (b) ½, 0, 0 site in FCC metals, (for
Example 4.3). (c) Edge centers and cube centers are some of
the interstitial sites in the FCC structure (Example 4.3).
SOLUTION
1. We could calculate the size of the interstitial site at the
1/4, 1/2, 0 location with the help of Figure (a). The radius
RBCC of the iron atom is:

From Figure 4.2(a), we find that:

For FCC iron, the interstitial site such as the 1/2, 0, 0

lies along 100 directions. Thus, the radius of the iron
atom and the radius of the interstitial site are [Figure
4.2(b)]:
SOLUTION (Continued)

The interstitial site in the BCC iron is smaller than the

interstitial site in the FCC iron. Although both are smaller
than the carbon atom, carbon distorts the BCC crystal
structure more than the FCC crystal. As a result, fewer
carbon atoms are expected to enter interstitial positions in
BCC iron than in FCC iron.
SOLUTION (Continued)
2. We can find a total of 24 interstitial sites of the type 1/4,
1/2, 0; however, since each site is located at a face of the
unit cell, only half of each site belongs uniquely to a single
cell. Thus:
(24 sites)(1/2) = 12 interstitial sites per unit cell
Atomic percentage of carbon in BCC iron would be:

In FCC iron, the number of octahedral interstitial sites is:

(12 edges) (1/4) + 1 center = 4 interstitial sites per unit cell
Atomic percentage of carbon in BCC iron would be:
 Other Point Defects

 Interstitialcy - A point defect caused when a ‘‘normal’’

atom occupies an interstitial site in the crystal.
 Frenkel defect - A pair of point defects produced when
an ion moves to create an interstitial site, leaving behind
a vacancy.
 Schottky defect - A point defect in ionically bonded
materials. In order to maintain a neutral charge, a
stoichiometric number of cation and anion vacancies
must form.
 KrÖger-Vink notation - A system used to indicate point
defects in materials. The main body of the notation
indicates the type of defect or the element involved.
Learning
(c) 2003 Brooks/Cole Publishing / Thomson

Figure 4.3 When a divalent cation replaces a monovalent

cation, a second monovalent cation must also be removed,
creating a vacancy.
 Dislocations

 Dislocation - A line imperfection in a crystalline material.

 Screw dislocation - A dislocation produced by skewing a
crystal so that one atomic plane produces a spiral ramp
about the dislocation.
 Edge dislocation - A dislocation introduced into the
crystal by adding an ‘‘extra half plane’’ of atoms.
 Mixed dislocation - A dislocation that contains partly
edge components and partly screw components.
 Slip - Deformation of a metallic material by the
movement of dislocations through the crystal.

Slip Direction – Direction in which the dislocation moves

Slip Plane
Slip System
(c) 2003 Brooks/Cole Publishing / Thomson Learning

Figure 4.4 the perfect crystal (a) is cut and sheared one atom
spacing, (b) and (c). The line along which shearing occurs is a
screw dislocation. A Burgers vector b is required to close a loop
of equal atom spacings around the screw dislocation.
Figure 4.5 The perfect crystal in (a) is cut and an extra
plane of atoms is inserted (b). The bottom edge of the
extra plane is an edge dislocation (c). A Burgers
vector b is required to close a loop of equal atom
spacings around the edge dislocation. (Adapted from
J.D. Verhoeven, Fundamentals of Physical Metallurgy,
Wiley, 1975.)
Figure 4.6 A mixed dislocation. The
screw dislocation at the front face
of the crystal gradually changes to
an edge dislocation at the side of
the crystal. (Adapted from W.T.
Read, Dislocations in Crystals.
McGraw-Hill, 1953.)
Figure Schematic of slip line, slip plane, and slip (Burgers)
vector for (a) an edge dislocation and (b) for a screw
dislocation. (Adapted from J.D. Verhoeven, Fundamentals
of Physical Metallurgy, Wiley, 1975.)
Figure 4.7 Schematic of slip line, slip plane, and slip
(Burgers) vector for (a) an edge dislocation and (b) for a
screw dislocation. (Adapted from J.D. Verhoeven,
Fundamentals of Physical Metallurgy, Wiley, 1975.)
 The Burgers vector of a dislocation is a crystal vector,
specified by Miller indices, that quantifies the difference
between the distorted lattice around the dislocation and
the perfect lattice. Equivalently, the Burgers vector
denotes the direction and magnitude of the atomic
displacement that occurs when a dislocation moves.

Trace around the end

of the dislocation
plane to form a closed
loop. Record the
number of lattice
vectors travelled along
each side of the loop
In a perfect lattice, trace out the same path, moving the
same number of lattice vectors along each direction as
before. This loop will not be complete, and the closure
failure is the Burgers vector
 Dislocations in 3D

In three dimensions, the nature of a dislocation as a line defect

becomes apparent. The dislocation line runs along the core of
the dislocation, where the distortion with respect to the perfect
lattice is greatest.
There are two types of three-dimensional dislocation. An edge
dislocation has its Burgers vector perpendicular to the
dislocation line. Edge dislocations are easiest to visualise as an
extra half-plane of atoms. A screw dislocation is more complex
- the Burgers vector is parallel to the dislocation line. Mixed
dislocations also exist, where the Burgers vector is at some
acute angle to the dislocation line.
 EDGE
DISLOCATION

SCREW
DISLOCATION
EDGE DISLOCATION

SCREW DISLOCATION
When a dislocation moves under an applied shear
stress:

individual atoms move in directions parallel to the

Burgers vector

the dislocation moves in a direction perpendicular to

the dislocation line.

An edge dislocation therefore moves in the direction of

the Burgers vector, whereas a screw dislocation moves
in a direction perpendicular to the Burgers vector.
The screw dislocation 'unzips' the lattice as it moves
through it, creating a 'screw' or helical arrangement of
atoms around the core.
The ease of dislocation glide is partly determined by the
degree of distortion (with respect to the perfect lattice)
around the dislocation core. When the distortion is spread
over a large area, the dislocation is easy to move. Such
dislocations are known as wide dislocations, and exist in
ductile metals.
The width of a dislocation (W) gives a measure of the
degree of disruption a dislocation creates with respect to
the perfect lattice.
When w is several atomic spacings in dimension, the
dislocation is wide;
if W is of the order of one or two atomic spacings, it is
narrow.
Dislocation glide occurs most easily in wide dislocations
- these are found in simple metals with simple close-
packed crystal structures, hence these materials are
ductile .
Ceramics, for example, tend to have narrow
dislocations, and are hard and brittle as a result.
 During slip, a dislocation moves from one set of
surroundings to an identical set of surroundings.
The Peierls-Nabbaro stress is required to move the
dislocation from one equilibrium location to another.

  c. exp( kd / b)
 is the shear stress required to move the dislocation, d
is the interplanar distance between the adjacent slip
planes, b is the Burgers Vector

The Dislocation moves in slip systems that require the

least expenditure of energy.
1. he stress required to cause the dislocation increases exponentially
with the length of the Burgers Vector. Thus the slip direction
should have small repeat distance or high linear density. The Close
packed planes in metals satisfy this condition.
2. he stress required to cause the dislocation to move decreases
exponentially with the interplanar spacing of the slip planes. Slip
occurs between planes that are far apart.
3. Dislocations do not move easily in materials which have covalent
bonds.
4. Ceramics are also resistant to slip. Movement of a dislocation
disrupts the charge balance around cations and anions, requiring
that bonds between anions and cations are broken. During slip,
ions with a like charge must pass close together causing repulsion.
Further ‘b’ is larger than in metals. Brittle failure will occur before
the dislocation can move.
 Example 4.8
Burgers Vector Calculation

Calculate the length of the Burgers vector in copper.

Learning
(c) 2003 Brooks/Cole Publishing / Thomson

Figure 4.10
(a) Burgers
vector for FCC
copper. (b)
The atom
locations on a
(110) plane in
a BCC unit cell
(for example
4.8 and 4.9,
respectively)

The magnitude of Burgers Vector is the repeat distance between

the adjacent atoms along the highest atomic density direction
Example 4.8 SOLUTION
Copper has an FCC crystal structure. The lattice
parameter of copper (Cu) is 0.36151 nm. The close-
packed directions, or the directions of the Burgers vector,
are of the form 110 . The repeat distance along the 110
directions is one-half the face diagonal, since lattice points
are located at corners and centers of faces [Figure
4.10(a)].

The length of the Burgers vector, or the repeat distance, is:

b = 1/2(0.51125 nm) = 0.25563 nm
 Identification of Preferred Slip Planes

The planar density of the (112) plane in BCC iron is 9.94  1014
atoms/cm2. Calculate (1) the planar density of the (110) plane
and (2) the interplanar spacings for both the (112) and (110)
planes. On which plane would slip normally occur?
Learning
(c) 2003 Brooks/Cole Publishing / Thomson

Figure 4.10
(a) Burgers
vector for FCC
copper. (b)
The atom
locations on a
(110) plane in
a BCC unit cell
(for example
4.8 and 4.9,
respectively)
Example 4.9 SOLUTION
1. The planar density is:

2. The interplanar spacings are:

The planar density and interplanar spacing of the (110)

plane are larger than those for the (112) plane; therefore,
the (110) plane would be the preferred slip plane.
 Observing Dislocations

 Etch pits - Tiny holes created at areas where dislocations

meet the surface. These are used to examine the
presence and number density of dislocations.
 Slip line - A visible line produced at the surface of a
metallic material by the presence of several thousand
dislocations.
 Slip band - Collection of many slip lines, often easily
visible.
 Significance of Dislocations

 Plastic deformation refers to irreversible deformation or

change in shape that occurs when the force or stress
that caused it is removed.
 Elastic deformation - Deformation that is fully recovered
when the stress causing it is removed.
 Dislocation density - The total length of dislocation line
per cubic centimeter in a material.

An annealed material has a dislocation density of approximately

108 to 1010 /cm2, while cold
worked material has a density of approximately 1016 /cm2.
Dislocation motion along a crystallographic direction is
called glide or slip. There must be a local shear stress in
an appropriate direction on the dislocation for glide to
occur. Dislocation glide allows plastic deformation to
occur at a much lower stress than would be required to
move a whole plane of atoms past another.

The stress required to cause slip by moving entire planes

past one another, and the stress required to cause slip by
dislocation motion can be estimated. The stress required
for slip is much lower when the mechanism of slip is
dislocation motion. Slip does occur by dislocation motion.
ANIMATION OF SLIP BY DISLOCATION GLIDE

ANIMATION OF SLIP BY MOVEMENT OF

WHOLE LATTICE PLANES
 Movement of an Edge Dislocation

Movement of an edge dislocation across the crystal lattice under

a shear stress. Dislocations help explain why the actual strength
of metals is much lower than that predicted by theory.
Requires lower shear stress to cause slip on a plane than in a perfect
lattice:
1. Earthworm moves forward through a hump that starts at the tail and moves
toward the head;
2. Moving a large carpet by forming a hump at one end and moving it to the
other end. The force required to move a carpet is much less than that required
to slide the carpet along the floor.
 Metals - Slip & deformation

• 1. Slip on atomic planes without dislocations

• 2. Slip with dislocation – low stress process
 A sessile dislocation is one for which the
burgers vector is not in the direction of slip – so it
won’t move when a force is applied. Glissile
dislocations will move under the application of
a force – their burgers vector is in the direction of
slip. Sessile dislocations can form by
multiple vacancies moving to the same area to
produce a dislocation.
 Metals - deformation
• Metals are malleable (can be flattened) and ductile
(can be drawn into wires) because of the way the
metal cations and electrons can "flow" around each
other, without breaking the crystal structure.
• Due to the above, metals cannot be fractured without
undergoing extensive deformation. The amount of
energy needed to fracture them (called toughness) is
very high compared to ceramics. This energy is a sum
of energy for plastic deformation and energy needed
to create new fracture surface, the proportions of each
being approx. 100:1 respectively.
 Metals - Slip & deformation

• Plastic deformation occurs at stresses much smaller

than the theoretical strength of perfect crystals
considering the force needed to break all the bonds
in the slip plane.
• The presence of line defects called as dislocations
enable the metallic crystals to deform at low stresses
since these dislocations move by breaking a small
fraction of the bonds in the slip plane at a time.
Slip & deformation in metals

• Deformation in metals
occurs mainly by slip.
• On the left, is a
schematic sketch of slip
in metals.
• On the right, is a photo
of deformed single
crystal of zinc.
 Section 4.6
Schmid’s Law

 Schmid’s law -The relationship between shear stress, the

applied stress, and the orientation of the slip system—
that is,    cos  cos 
 Critical resolved shear stress - The shear stress required
to cause a dislocation to move and cause slip.
 (c)2003 Brooks/Cole, a division of Thomson Learning, Inc. Thomson Learning ™ is a
trademark used herein under license.

Figure 4.14 (a) A resolved shear stress τ is produced on a slip

system. (Note: (ø + λ) does not have to be 90°.) (b)
Movement of dislocations on the slip system deforms the
material. (c) Resolving the force.
 Slip & deformation in metals
• Critical resolved shear
stress(CRSS) for slip:
Slip begins when the shearing
stress on the slip plane in the slip
direction reaches a threshold
value called CRSS. From figure,
CRSS = P cosλ = P cosλ cosφ
A / cosφ A
Note when λ = 0, φ = 90o
and when φ = 0, λ = 90o.
In such cases, CRSS is zero and
slip cannot take place.
 Calculation of Resolved Shear Stress

Apply the Schmid’s law for a situation in which the single

crystal is at an orientation so that the slip plane is
perpendicular to the applied tensile stress.
/ Thomson Learning
(c) 2003 Brooks/Cole Publishing

When the slip plane is

perpendicular to the
applied stress σ, the angle
λ is 90° and no shear
stress is resolved.
SOLUTION
Suppose the slip plane is perpendicular to the
applied stress σ, as in Figure 4.15. Then, ø = 0o, λ =
90o, cos λ = 0, and therefore τr = 0. As noted before, the
angles f and l can but do not always add up to 90o. Even
if the applied stress s is enormous, no resolved shear
stress develops along the slip direction and the
dislocation cannot move. Slip cannot occur if the slip
system is oriented so that either λ or ø is 90o.
 Influence of Crystal Structure

 Critical Resolved Shear Stress

Shear stress required for breaking enough metallic
bonds in order for slip to occur.
 Number of Slip Systems
 Cross-slip - A change in the slip system of a
dislocation.

Cross slip only occurs for screw dislocations, and involves

the dislocation moving off one slip plane onto
another slip plane in the same family of planes. No
cross slip can occur in HCP because the slip planes are parallel
and not intersecting. HCP metals hence tend to remain brittle.
 Ductility of HCP Metal Single Crystals and
Polycrystalline Materials

A single crystal of magnesium (Mg), which has a HCP crystal

structure, can be stretched into a ribbon-like shape four to six
times its original length. However, polycrystalline Mg and other
metals with a HCP structure show limited ductilities. Use the
values of critical resolved shear stress for metals with different
crystal structures and the nature of deformation in
polycrystalline materials to explain this observation.
SOLUTION

From Table 4-2, we note that for HCP metals such as Mg,
the critical resolved shear stress is low (50–100 psi). We
also note that slip in HCP metals will occur readily on the
basal plane—the primary slip plane. When a single crystal
is deformed, assuming the basal plane is suitably
oriented with applied stress, a very large deformation can
occur. This explains why single crystal Mg can be
stretched into a ribbon four to six times the original size.
When we have a polycrystalline Mg, the
deformation is not as simple. Each crystal must deform
such that the strain developed in any one crystal is
accommodated by its neighbors. In HCP metals, there
are no intersecting slip systems, thus dislocations cannot
glide over from one slip plane in one crystal (grain) onto
another slip plane in a neighboring crystal. As a result,
polycrystalline HCP metals such as Mg show limited
ductility.
 Importance of Defects

 Effect on Mechanical Properties via Control of the Slip

Process
 Strain Hardening
 Solid-Solution Strengthening
 Grain-Size Strengthening
 Effects on Electrical, Optical, and Magnetic Properties
 (c)2003 Brooks/Cole, a division of Thomson Learning, Inc. Thomson Learning™ is a trademark used herein under license.

Figure 4.22 If the dislocation at point A moves to the

left, it is blocked by the point defect. If the dislocation
moves to the right, it interacts with the disturbed lattice
near the second dislocation at point B. If the dislocation
moves farther to the right, it is blocked by a grain
boundary.
Design/Materials Selection for
a Stable Structure

We would like to produce a bracket to hold ceramic bricks

in place in a heat-treating furnace. The bracket should be
strong, should possess some ductility so that it bends
rather than fractures if overloaded, and should maintain
most of its strength up to 600oC. Design the material for
this bracket, considering the various crystal imperfections
as the strengthening mechanism.
SOLUTION

In order to serve up to 600oC, the bracket should not

be produced from a polymer material. Instead, a
metal or ceramic would be considered.
SOLUTION (Continued)

In order to have some ductility, dislocations must move

and cause slip. Because slip in ceramics is difficult, the
bracket should be produced from a metallic material.

We might add carbon to the iron as interstitial

atoms or substitute vanadium atoms for iron atoms at
normal lattice points. These point defects continue to
interfere with dislocation movement and help to keep the
strength stable.

Of course, other design requirements may be

important as well. For example, the steel bracket may
deteriorate by oxidation or may react with the ceramic
brick.
Etching to Reveal Dislocation Motion
• Movement of dislocations in
LiF.
• “A” are sessile dislocations &
“B” are glissile dislocations.
• When a stress is applied the
glissile dislocation slides, hence,
when it is etched again it leaves
a new trace where as the old
trace gets wider, but not deeper.
• Sessile dislocations do not move
and the etch pits get deeper and
wider on repeated etching.
 Strain-Hardening Mechanisms

 Frank-Read source - A pinned dislocation that,

under an applied stress, produces additional
dislocations. This mechanism is at least partly
responsible for strain hardening.
Figure 7.5 The Frank-Read
source can generate
dislocations. (a) A
dislocation is pinned at its
ends by lattice defects. (b)
As the dislocation continues
to move, the dislocation
bows, eventually bending
back on itself. (c) finally the
dislocation loop forms, and
(d) a new dislocation is
created. (e) Electron
micrograph of a Frank-Read
source (330,000). (Adapted
from Brittain, J., ‘‘Climb
Sources in Beta Prime-
NiAl,’’ Metallurgical
Transactions, Vol. 6A, April
1975.)
Frank-Read source
 Slip & deformation in metals
• Bauschinger effect: Dislocations pile up on slip planes at
barriers in the crystal. The pile-ups produce a back
stress which opposes the applied stress on the slip plane.
In the figure, the crystal is strained to point ‘O’,
unloaded, and then reloaded in the direction opposite to
the original slip direction. Note that on reloading, the
crystal yields at a lower shear stress than earlier. This
lowering of the yield stress is called Bauschinger effect.
 Two Plastic Deformation Mechanisms for
Single Crystals
• a)Slipping & b)Twinning
a) Slip: Permanent deformation (also called plastic
deformation) of a single crystal subjected to a shear
stress: (a) structure before deformation; and (b)
permanent deformation by slip. The size of the b/a ratio
influences the magnitude of the shear stress required to
cause slip.
 Two Plastic Deformation Mechanisms for
Single Crystals
• b) Twinning : (a) Permanent deformation of a single
crystal under a tensile load. Note that the slip planes
tend to align themselves in the direction of the pulling
force. This behaviour can be simulated using a deck of
cards with a rubber band around them. (b) Twinning in
a single crystal in tension.
 Slipping
• Slipping of 1 atom plane over an adjacent
plane.
• Require certain amount of shear stress to
undergo plastic (permanent) deformation.

The figure shows slip

lines in copper at a
magnification of 500X
in an optical microscope.
 Twinning
Portion of the crystal forms a mirror image of itself
across the plane of twinning.
• Usually occur in hcp and bcc metals by plastic
deformation; occur in fcc by annealing.
 Twinning
Microstructures of twins: a) Neumann bands in iron.
b) mechanical twins in zinc produced by polishing.
c) annealing twins in gold silver alloy.
Slip Lines and Slip Bands
Schematic illustration of
slip lines and slip bands in
a single crystal (grain)
subjected to a shear stress.
A slip band consists of a
number of slip planes. The
crystal at the center of the
upper illustration is an
individual grain surrounded
by other grains.

Slip System
• Combination of a slip
plane & slip direction.
• Slip system >= 5, Ductile
 Body-Centered Cubic Crystal Structure

The body-centered cubic (bcc) crystal structure: (a) hard-ball

model; (b) unit cell; and (c) single crystal with many unit cells.
Source: W. G. Moffatt, et al., The Structure and Properties of
Materials, Vol. 1, John Wiley & Sons, 1976.
 Slip System of BCC

• In Body-centered-cubic (BCC):
– 48 possible slip systems
– Probability is high for externally applied shear
stress to cause slip
– However b/a is high, so shear stress required is
high
– Metal with bcc structure generally have good
strength & moderate ductility.
– Eg., molybdenum,and tungsten
 Face-Centered Cubic Crystal Structure

The face-centered cubic (fcc) crystal structure: (a) hard-ball

model; (b) unit cell; and (c) single crystal with many unit cells.
Source: W. G. Moffatt, et al., The Structure and Properties of
Materials, Vol. 1, John Wiley & Sons, 1976.
 Slip System of FCC

• In face-centered-cubic(FCC):
– 12 Slip systems
– Probability for slip is moderate
– b/a is relatively low, so required shear stress is
low
– FCC Metal generally have moderate strength
& good ductility
– Eg.Aluminum,Copper,gold,and silver
 Hexagonal Closed-Packed Crystal Structure

The hexagonal close-

packed (hcp) crystal
structure:
(a) unit cell; and
(b) single crystal with
many unit cells.
Source: W. G.
Moffatt, et al., The
Structure and
Properties of
Materials, Vol. 1,
John Wiley & Sons,
1976.
 Slip System of HCP

• Hexagonal-close-packed (hcp):
– 3 slip systems
– Low probability of slip
– However more slip systems become available
at high temperature
– HCP metal generally brittle at room
temperature
– e.g., beryllium, magnesium, and zinc
 Summary of Slip systems
BCC FCC HCP

Slip System 48 12 3
Truly close (more at high
packed plane temperature)
does not exist

Probability for Slip High Moderate Low

Ductility (>5) Moderate Good Brittle

b/a High Low N/A

Shear Stress High Low Moderate

Strength High Moderate Moderate

Example Cr, W, Mo, Ta Cu, Al, Au, Ag, Ti, Zr, Mg,
Alpha Iron Gamma Iron Zn
(Allotropy or (<912ºC or (912ºC ~
polymorphism) >1394ºC) 1394ºC)
 Ionic ceramic crystal

• Alternate positive(black) & negative(white) ions

 Slip is difficult in ionic crystals
of ceramics

• Ionic structure of • One interionic distance

alternate anions and movement along a plane
cations causes fracture as like
ions face each other.
 Imperfection In Metal Structure
(General)
• Actual strength of metal is 1 to 2 orders of magnitude lower
than theoretical calculated strength level
• This is due to defects & imperfection in the crystal structure
( particularly, dislocations as illustrated)
• Structure Sensitive: Mechanical & electrical properties of
metal, such as yield, fracture strength & electrical
conductivity, adversely affected by those defects
• Structure Insensitive: Physical & chemical properties, such
as melting point, specific heat, coefficient of thermal
expansion & elastic constants are not sensitive to those
defects
 Strain (Work) Hardening
• Dislocation can become entangled & interfere with each other
(Example: moving two humps at different angles across a carpet
with the two humps interfering with each other’s movement, making it
more difficult to move the carpet)
• Impeded by barriers, such as grain boundaries, impurities &
inclusions in the materials
• Entanglement and impediment increase the shear stress
required for slip
• The effect of an increase in shear stress increases the strength
of metal at ambient temperature
– Strengthening wire by reducing its cross-section by drawing it through
a die
– Producing the head on a bolt by forging it
– Producing sheet metal for automobile bodies and aircraft fuselages by
rolling
 Solidification of Polycrystalline Structure
Schematic illustration
of the stages during
solidification of molten
metal; each small
square represents a unit
cell. (a) Nucleation of Crystals
crystals at random sites
in the molten metal;
note that the
crystallographic
orientation of each site
is different. (b) and (c)
Growth of crystals as
solidification continues.
(d) Solidified metal,
showing individual
grains and grain
boundaries; note the
different angles at
which neighbouring
grains meet each other. Grain Boundary Grain or Crystalline
Source: W. Rosenhain. Structure
 Plastic Deformation of Polycrystalline Metal
• Deformation in each grain takes places by the
mechanisms for single crystals
• The greater the deformation, the stronger the
metal becomes
~ Because of GB entanglement of dislocation
• The smaller the grain sizes, the higher the
strength for metals
~ Because they have a large grain-boundary surface
area per unit volume of metal
 Plastic deformation of Polycrystalline Metal
(Anisotropy)

• Anisotropy (As a result of plastic deformation, the

grain have elongated in one direction & contracted
in the other. Its properties in vertical direction are
different from horizontal direction.)
– Preferred orientation
– Mechanical fibering
• Anisotropy influences mechanical & physical
properties (increase in strength and decrease in
ductility)
 Summary of Plastic Deformation

• Plastic deformation causes increase in strength,

decrease in ductility & causes anisotropic
behavior

• Plastic deformation can be reversed and properties

of the metal can be brought back to their original
level, by heating the piece in a specific
temperature range for a period of time (annealing)
Deformation, Strain Hardening, and
Annealing
• Three Main Topics for Discussion
– Cold Working or Strain Hardening
– Hot Working
– Annealing
• By controlling the processes of deformation and
heat treatment, we are able to process materials
into usable shapes while improving and
controlling properties
• Topics pertain mainly to metals, particularly
ductile metals
 Cold Working

• Development of Strain Hardening

– A specimen is stressed beyond the yield strength
before the stress is removed
– Now the specimen has a higher yield strength and
tensile strength, but lower ductility
– By repeating the procedure, the strength continues to
increase and the ductility continues to decrease until
the alloy becomes very brittle
 Mechanism of Cold Working
Dislocation Multiplication
• Beyond the yield strength, the
dislocations begin to move causing slip
(plastic deformation)
• Eventually, a dislocation moving on its
slip plane encounters obstacles which
pin the ends of the dislocation line
• As we continue to apply the stress, the
dislocation attempts to move by
bowing in the center until a dislocation
loop forms
• More dislocations we have, the more likely they are to
interfere with one another, and the stronger the metal
becomes